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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 27.68 | 04/28/2011 | M(1) | 12,599 | (8) | 09/17/2011 | Common Stock | 12,599 | $ 0 | 87,401 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HAY LEWIS III NEXTERA ENERGY, INC. 700 UNIVERSE BLVD. JUNO BEACH, FL 33408 |
X | Chairman & CEO | Chairman of Sub |
Alissa E. Ballot (Attorney-in-Fact) | 05/02/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Option exercise pursuant to Rule 10b5-1 trading plan amendment adopted by the reporting person on January 29, 2010. |
(2) | Includes 203,655 shares deferred until the reporting person's retirement. |
(3) | Sale effected pursuant to Rule 10b5-1 trading plan amendment adopted by the reporting person on January 29, 2010. |
(4) | Transfer of shares to Hay Family Limited Partnership, the sole general partner of which is an entity controlled by the reporting person and the limited partners of which are the reporting person and his wife. |
(5) | Includes 15,349 shares that, on April 29, 2011, were transferred to direct ownership and immediately transferred to the Hay Family Limited Partnership, in each case for no consideration, by grantor retained annuity trusts of which the reporting person is trustee. |
(6) | No consideration was paid or received in connection with the transfer of shares. |
(7) | Reflects transfer, for no consideration, on April 29, 2011, of an aggregate of 15,349 shares from grantor retained annuity trusts, as described in footnote (5) above. |
(8) | The option, representing a right to buy 100,000 shares, became exercisable in three substantially equal annual installments beginning on September 17, 2002, which was the first anniversary of the date on which the option was granted. |